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Natural Resource Management ClimateChange Impacts and Adaptation

Research Grants Program

GUIDELINES August 2012

Grants for research institutions to provide regional Natural Resource Management organisations with regionally relevant climate change impacts information and scenarios for direct use in natural resource management planning

Applications Close – 2pm AEST on 27 September 2012

This is a component of Stream 2 of the Regional Natural Resource Management Planning for Climate Change Fund announced under the Land Sector Package of the Australian Government’s Clean Energy Future plan

2 | NRM Climate Change Impacts and Adaptation Research Grants Program Guidelines

CONTENTS1

1.1

PROGRAM OVERVIEW .................................................................................................................... 4

Introduction ............................................................................................................................ 4

1.2 Objectives of the Impacts and Adaptation Grants Program ................................................... 5

1.3 Program delivery ..................................................................................................................... 6

1.4 Impacts and adaptation research project requirements ........................................................ 7

1.5 Links to other Stream 2 NRM Fund components.................................................................... 8

1.6 Funding ................................................................................................................................... 9

2 GRANT ASSESSMENT PROCESS .................................................................................................... 11

2.1 These Guidelines ................................................................................................................... 11

2.2 How applications will be assessed ........................................................................................ 11

2.3 Eligibility Criteria ................................................................................................................... 12

2.4 Merit Criteria......................................................................................................................... 14

3

2.5

F

Value for money assessment ................................................................................................ 16

UNDING ARRANGEMENTS AND GRANTS INFORMATION .......................................................... 18

3.1 Funding Agreement .............................................................................................................. 18

3.2 Roles and responsibilities...................................................................................................... 19

3.3 Publication of grant information .......................................................................................... 21

3.4 Confidentiality and disclosure of information ...................................................................... 21

3.5 Rights and responsibilities .................................................................................................... 21

4

3.6 No contract ........................................................................................................................... 21

HOW TO LODGE AN APPLICATION ............................................................................................... 22

4.1 How to apply ......................................................................................................................... 22

4.2 Lodgement process ............................................................................................................... 23

4.3 Queries .................................................................................................................................. 23

4.4 Complaints ............................................................................................................................ 24

4.5 Glossary of terms .................................................................................................................. 24


ABOUT THESE GUIDELINES

The Natural Resource Management Climate Change Impacts and Adaptation Research Grants Program Guidelines (Impacts and Adaptation Grants Program Guidelines) provide information to potential grant applicants regarding the preparation of project proposals.

The Natural Resource Management Climate Change Impacts and Adaptation Research Grants Program (Impacts and Adaptation Grants Program) is a merit-based competitive grants program. Applicants should be aware that meeting the assessment criteria does not guarantee funding. Applicants should not commit to any expenditure relating to a proposed project prior to a Funding Agreement being signed by both parties.

These guidelines are divided into 4 sections:

Section 1 provides an overview of the program

Section 2 provides information on the assessment process

Section 3 outlines other requirements relating to grants

Section 4 provides information on submitting grant applications

KEY DATES

Call for Applications 15 August 2012

Close of Application period2pm AEST on 27 September2012

Assessment of Applications October/November 2012

Successful applicants notified November 2012

Funding Agreements signed November/December 2012


1 PROGRAM OVERVIEW

1.1 IntroductionThe Government has a comprehensive plan to move Australia to a clean energy future. This includes:

introducing a carbon price;

promoting innovation and investment in renewable energy;

encouraging energy efficiency; and

creating opportunities in the land sector to cut pollution.

The plan has been devised in response to clear scientific advice that the world is warming, that carbon pollution from human activity creates significant risks and that we can avoid the worst potential impacts by reducing carbon pollution.

The plan details how the Government will help Australian households, businesses and communities make the transition to cleaner sources of energy, lower carbon pollution and protect our international competitiveness. An important component of the Government’s plan for a cleanenergy future is a commitment to promote innovation and investment to create opportunities in the land sector to cut pollution. Further details on the plan can be found on the Clean Energy Future website at: w w w .c l eane n e r g y f u ture. go v .a u .

The Carbon Farming Initiative (CFI), which is part of the Clean Energy Future plan, allows farmers and other land managers to earn carbon credits by storing carbon or reducing greenhouse gas emissions on the land. These credits, known as Australian Carbon Credit Units (ACCUs), can be sold to people and businesses wishing to offset their emissions.

The CFI also helps rural communities and the environment supporting sustainable farming by creating incentives for landscape rehabilitation.

A range of other land sector measures have been established to complement the CFI to support farmers and land managers to participate in the CFI, and assist in the development of new abatement opportunities on the land.

The Clean Energy Future plan - Land Sector MeasuresUnder the Australian Government’s Clean Energy Future plan, approximately $1.7 billion of revenue raised by the carbon price will be reinvested in the land sector over the next six years. The land sector measures are:

Carbon Farming Futures$429 million over six years to ensure that advances in emissions reduction technologies and techniques will continue the evolution of management practices in the land sector towards emissions reduction and improved productivity.

Carbon Farming Skills$4 million over 5 years to development of an accreditation scheme for key carbon service providers and a new qualification in carbon farming.

Indigenous Carbon Farming Fund$22 million over five years to help Indigenous Australians benefit from carbon farming opportunities.


Biodiversity Fund$946 million over six years to restore, manage and enhance Australia’s biodiverse carbon stores.

Carbon Farming Initiative Non-Kyoto Carbon Fund$250 million over six years to purchase credits that are not Kyoto-compatible.

Regional Natural Resource Management Planning for Climate Change Fund$44 million over five years to improve regional planning for climate change and help to guide the location of carbon and biodiversity activities, including wildlife corridors.

Land Sector Carbon and Biodiversity Board$4 million over 6 years to support an expert board to provide advice on the implementation and delivery of the measures (w w w . envi r o nm ent. go v .a u/ cleane n er g y f u tur e / la n d -s e ct o r / b o ar d . h t ml ).

For further information please visit: w w w .cl e a n ener g y f u ture. g ov .a u .

The Regional Natural Resource Management (NRM) Planning for Climate Change Fund (NRM Fund)has two streams:

Stream 1 - $28.9 million funding to help regional NRM organisations plan for climate change impacts by updating existing regional NRM plans. Regional NRM plans provide a mechanism for regional NRM organisations, in consultation with communities, to plan for the long term sustainability of Australia’s natural resources. Stream 1 will be delivered by the Department of Sustainability, Environment, Water, Population and Communities (SEWPaC); and

Stream 2 - $15 million for coordination of research to produce regional-level climate change information to support medium term regional NRM and land use planning. Stream 2 will be delivered by the Department of Climate Change and Energy Efficiency (the Department).

These grant guidelines relate to the Natural Resource Management Climate Change Impacts and Adaptation Research Grants Program (Impacts and Adaptation Grants Program), part of Stream 2 of the NRM Fund. This grants program is designed to address one of the barriers to effective NRM planning for climate change – access to up-to-date climate change information at the appropriate scale and format and the capacity to apply this information effectively in the regional NRM planning process.

The Impacts and Adaptation Grants Program will provide $8 million (GST exclusive) in funding to research institutions to work with planners in regional NRM organisations to deliver relevant information on climate change, its impacts and potential adaptation responses, and provide guidance on how to use that information in NRM planning. The regional level information generated under the Impacts and Adaptation Grants Program will be a critical input to the updating of the regional NRM plans under Stream 1. Each grant recipient team will need to provide ongoing support to the relevant NRM cluster during the plan update process under Stream 1 of the NRM Fund.

The other key element of Stream 2 is the development, coordination and delivery of climate change projections through grants to CSIRO and other research organisations. Some funds will also be made available for a national monitoring and evaluation project to be established for Stream 2 that captures lessons learnt for adaptive program management and for future application. These elements are outside the scope of the Impacts and Adaptation Grants Program.

1.2 Objectives of the Impacts and Adaptation Grants Program

The Impacts and Adaptation Grants Program will improve the capacity of regional NRMorganisations to plan for climate change.


The Department will engage credible organisations that are able to provide evidence (defined in section 2.3, Eligibility Criteria) that they will deliver projects under this program that will:

Improve the quality and accessibility of regionally relevant information on climate change impacts and potential adaptation responses available to regional NRM organisations;

Provide regional NRM organisations with access to expert advice on how to apply climate change information in their planning;

Encourage local knowledge and experience to be integrated into understanding of climate change impacts, opportunities and potential adaptation responses; and

Assist regional NRM organisations to plan for the biodiversity impacts of climate change and capitalise on the opportunities provided by the CFI and the Biodiversity Fund to improve the long term resilience of the landscape, communities and agricultural economies.

1.3 Program delivery

For delivery of Stream 2 of the NRM Fund, the 56 NRM regions have been grouped into eight‘clusters’. This will enable benefits from the joint delivery of information to be realised and encourage peer learning. The clusters have been designed according to common characteristics in relation to land use, climate and how these are anticipated to change. A map of the clusters is shown in Figure 1, with further information included in Attachment 1.

It is envisaged that there will be one Impacts and Adaptation Research project (project) for each of the eight clusters. Each project will not necessarily receive the same amount of funding. Funding will be allocated on the basis of the merit of the proposed application, taking into account other factors such as population, land area, land use intensity, variation in climate over the region, the extent and complexity of potential climate change impacts, and the amount of impacts and adaptation information already available for the region.

The intent of this program is to support regional NRM planning needs most effectively with the funding available. Some national level research is likely to be supported where the information generated is important for regional NRM plans and can be delivered more efficiently at a national level.

The Department anticipates that there will be some issues or information needs that will be most easily addressed through cross-cluster collaboration. These issues will be identified in the initial planning workshop (Section 2.2).

Information developed through the projects will be made freely available through the Department or other organisations for the benefit of all regional NRM organisations.


Figure 1. Regional NRM organisation ‘clusters’ for program delivery

1.4 Impacts and adaptation research project requirements

Funding under the Impacts and Adaptation Grants Program will become available in 2012-13 to support projects that meet the requirements outlined in this section. This will be the only funding round under the Impacts and Adaptation Grants Program. Successful projects will be funded for up to four years until 2015-16. See Section 1.6 for more detail on available funding and timelines. Projects seeking funding under the Impacts and Adaptation Grants Program will target activities to deliver the knowledge, tools and techniques for planners within NRM clusters to identify the priority climate change impacts and adaptation information required to address planning needs.

In developing project proposals, applicants should consider the priority information needs of the relevant NRM cluster. Examples of priority information may include projected changes to water availability, carbon storage in the landscape, vegetation composition, biodiversity, and regional sea level rise. Successful grants recipients will be required to work closely with the NRM cluster to identify and prioritise the impacts information they need.

Once the information needs have been identified, research teams will synthesise existing research to meet the specific needs of NRM clusters and undertake targeted new analysis to fill identified high priority information gaps. This information will allow the research teams and NRM clusters toidentify adaptation responses that can help avoid or reduce the costs of these impacts.


Regional NRM organisations currently use a range of models and software tools to assist in NRM planning. Research teams will work with regional NRM organisations to incorporate regional climate change information into these tools. This will allow maps and other spatial information to be produced. For example, maps that demonstrate how climate change may drive changes in water availability, pasture growth, ecosystems or fire regimes.

A key requirement is that at least one member of each grant recipient team will be a key contact for the relevant NRM cluster. This person will be responsible for ensuring the effective and appropriate use of the climate change information in NRM planning. The information will include both the outputs from the Impacts and Adaptation Grants Program projects and the climate change projections being developed under Stream 2 (see Section 1.5).

Each grant recipient team will need to provide ongoing support to the relevant NRM cluster during the plan update process under Stream 1 of the NRM Fund. This will ensure that planners within regional NRM organisations are aware of the best practice processes for incorporating climate change in NRM planning and the range of plausible climate change futures. There is an opportunity to provide this ongoing support and advice for the life of the program out to 2015-16 (see section1.6.1 for funding details).

The Department envisages that key project outputs for each cluster will be:

research and synthesis of climate change impacts and adaptation responses for priority issues, including impacts on biodiversity and carbon sequestration opportunities;

new analysis to tackle highest priority information gaps;

product development e.g. guidance material, maps, software and reports; and

workshops, support and advice e.g. priority identification, information sharing, training.

1.4.1 Potential for regional information to be delivered nationally

It is envisaged that there will be one project per NRM cluster. However, there are some impacts and adaptation issues that are a high priority for NRM regions across Australia. Information on these issues may be more efficiently delivered through a single national level modelling or analysis project. Key areas may be future water availability, large scale shifts in ecosystems (including invasivespecies) which cut across NRM region boundaries, regional sea level rise and its likely impacts, and guidance on understanding uncertainty and confidence in the impacts identified through Impacts and Adaptation Grants Program projects.

In addition to the eight NRM cluster projects, applications for projects delivered at the national level may be supported where the applicant can clearly demonstrate that the project will:

efficiently deliver information across Australia;

deliver outputs at a resolution relevant to planning needs; and

address issues that are a clear priority across multiple NRM clusters.

1.5 Links to other Stream 2 NRM Fund components

Providers receiving funding under the Impacts and Adaptation Grants Program will need to work with organisations delivering the other Stream 2 components, including other cluster projects and projects delivering regional information nationally.


Stream 2 of the NRM Fund also supports the coordination, development and delivery of climate change projections. It is intended that this work will be lead by the CSIRO and Bureau of Meteorology, and is not covered by these grant guidelines.

Key outputs of the coordination, development and delivery of climate change projections component will be:

a website that provides a framework for the identification and download of available regional climate change projections;

up-to-date descriptive climate change information and higher-resolution projections for regions;

projection datasets for production and impacts modelling;

reports for each cluster that contextualise regional projections with underlying drivers of climate; and

guidance and training on the use of climate change projections in planning.

A monitoring and evaluation program for Stream 2 will be established from the start of the program to enable adaptive program management. The monitoring and evaluation program is not covered by these grant guidelines.

Grant recipients will be the primary point of contact in relation to climate change information for regional NRM organisations in the process to update regional NRM plans (under Stream 1 of the NRM Fund). They will be expected to provide advice on the information available from the other Stream 2 components. Training will be provided to build understanding of the science behind projections development, the different approaches used, and the drivers of uncertainty.

Upon finalisation of the successful grant recipients, an initial planning workshop will be held. Annual workshops for the life of the program will also be held to bring together the organisations delivering projects under Stream 2 to ensure streamlined delivery. Attendance costs can be included in the project budget – see section 3.1.1 below for more detail.

1.6 Funding

1.6.1 Available funding

Funding for projects under the Impacts and Adaptation Grants Program will commence in 2012-13 and end in 2015-16. This is the only funding round under the Impacts and Adaptation Grants Program. Budgeting is weighted towards the first two years of the program. Core deliverables and functions will need to be delivered by the end of 2013-14 to align with the process to update regional NRM plans (Stream 1 of the NRM Fund - w w w . envi r o nm ent. go v .a u/ cleane n er g y f u tur e / reg i o n a l -f und / i nd e x . h t m l ).

There is a small amount of funding in 2014-15 and 2015-16 that could be used for providing ongoing advice and support to planners within regional NRM organisations. The budget profile for the Impacts and Adaptation Grants Program is shown in Table 1.

Project funding of $500,000 to $1 million (GST exclusive) is available for eligible project costs (see section 1.6.3 for consideration of projects outside this funding envelope). Proposals should take into account both the total project funding available and the profile of that funding over the 4 years of the program.


If the same institution or consortium intends to undertake projects in more than one cluster, or nationally, separate applications must be submitted for each project.

Table 1. Anticipated budget profile for the Impacts and Adaptation Grants Program over 4 years(all values are GST exclusive)

2012-13 2013-14 2014-15 2015-16 Total$3.5m $2.55m $1m $0.95m $8m

1.6.2 Applicant co-contributions

Applicant co-contributions are not required, but may enhance the merit of the project proposals. In- kind contributions must be directly related to the eligible costs of delivering the activities of the project and can include salaries of staff for the time they are involved and other costs incurred for the duration of the project. Contributions (both cash and in-kind) should be listed in the application.

1.6.3 Allocation of funding to projects

The amount of grant funding offered for any successful project may be less than the amount requested by the applicant. In such an event, an opportunity will be provided for the submission of a re-scoped version of the proposed project or a revised project budget.

The Department, at its discretion, may recommend that a project be supported that exceeds the $1 million (GST exclusive) funding envelope. Exceptional and broader value in the context of the program priorities would need to be demonstrated for consideration to be given to such a project. Significant co-contributions to the project would also need to be demonstrated. A budget profile and explanation of why additional funds are sought must be submitted with the proposal.


2 GRANT ASSESSMENT PROCESS

2.1 These Grant Guidelines

The Minister for Climate Change and Energy Efficiency (the Minister) has issued these guidelines to provide for applications to be made to the Department so that they can be assessed to determine whether they will be recommended for grant funding. The Minister may revoke or amend the guidelines at any time.

2.2 How applications will be assessed

The Impacts and Adaptation Grants Program is a competitive merit-based grants program with defined funding limits. Only proposals that meet the project requirements and contribute to the program objectives (Section 1.2) will be considered.

Figure 2. Process for assessment of proposals and project implementation

Applications received and acknowledgement email sent

Proposals assessed against eligibility criteria by

Program Manager

Eligible proposals assessed against merit

criteria by Selection Committee

Recommendations on proposals suitable for

funding made to Minister for approval

Successful applicants notified

Funding agreements signed and projects

commence

Initial planning workshop with all Grant

Recipients, the Department and organisations involved in other elements of Stream 2

Negotiation with applicants to address synergies and re-scope

where necessary

Outline of recommended projects submitted to Land Sector Carbon

and Biodiversity Board for consideration

2.2.1 Acknowledgement of receipt

All applicants will receive an acknowledgement email of their application. Receiving an acknowledgment does not mean that an application is eligible. The treatment of late and incomplete applications is outlined in Section 4.2.


2.2.2 Decision Making

To be eligible for funding under the Impacts and Adaptation Grants Program, the proposed project must be consistent with the objectives of the Impacts and Adaptation Grants Program. The Program Manager (the First Assistant Secretary of the Department’s Adaptation, Science and Communication Division) will check applicants, applications and proposed projects against the eligibility criteria (outlined in Section 2.3).

A Selection Committee will be established, consisting of senior Australian Government staff appointed by the Program Manager. Eligible applications will be assessed by the SelectionCommittee against the merit criteria outlined in Section 2.4. A merit ranking will be allocated to each application within each cluster and national category. The Selection Committee will at that time identify any applications that may be recommended for funding subject to amendment orrefinement of the proposal. The Department will then contact such applicants to discuss the application. If as a result of this process, changes are made to the proposal, the application will be reassessed by the Selection Committee against the selection criteria.

Following the assessment process, the Selection Committee will formulate its recommendations for funding, based on the order of relative merit arising from the merit assessment process. An outline of the project proposals (i.e. project title and a summary of the proposed work) and advice on the recommended projects will be submitted to the Land Sector Carbon and Biodiversity Advisory Board (LSCBB). The LSCBB will consider and provide advice on projects in light of their role in advising the Government on the implementation of the Land Sector Package.

The Selection Committee will review the merit list based on advice from the LSCBB. The Program Manager will approve final recommendations to be provided to the Minister. The Minister will be responsible for making the final decision regarding which applications will receive funding under the program.

As the Impacts and Adaptation Grants Program operates on a relative merit basis, meeting the selection criteria is no guarantee that funding will be awarded.

2.2.3 Conflict of interest

In keeping with their obligations as Australian Public Service Officers, Selection Committee members must disclose any actual or perceived conflict of interest in any matter to be considered in which they are formally involved.

Depending on the nature and extent of the conflict, they may be required not to take part in any discussion or decision-making process involving the conflict. Such disclosures will be formally recorded.

2.3 Eligibility Criteria

2.3.1 Applicants

To be eligible for funding, the applicant must be a research institution, defined as either:

a higher education institution;

a publicly-funded research agency established under Commonwealth or State legislation;

a research-related organisation that has an affiliation or partnership with a higher education institution; or


an Australian organisation primarily involved in undertaking research or research related activities.

Applicants, or lead applicants in the case of a consortium, must:

demonstrate compliance with the draft funding agreement (see Section 3.1);

be registered for GST;

be registered under the Corporations Act (2001) or incorporated under state and territory incorporation legislation; and

have been constituted as a legal entity for at least 12 months.

Consortium arrangements

Collaborative projects which combine the efforts of a number of eligible parties are encouraged as the formation of a consortium could assist parties to interact effectively and provide a targeted approach to meet the program’s objectives. It will be important to ensure that the consortium possesses all the relevant skills and attributes required to deliver a successful project.

These partnerships must have a lead organisation who will be responsible for the performance of the entire project; notwithstanding that implementation of parts of the project may be undertaken by other consortium members or subcontractors. The lead organisation will have to meet the applicant eligibility criteria and sign a Funding Agreement.

Consortium members should carefully consider the most appropriate management and governance arrangements to suit their membership and the nature of their project (see Section 3.1). Other than the Department’s requirement to contract with a single entity to ensure central management of each project (the ‘lead organisation’), there are no specific requirements for the membership or governance of a consortium.

Written evidence that demonstrates a partners’ commitment to the proposed project will berequired.

State and Territory Governments

It is expected that state and territory governments that wish to be involved with the program would do so as partners with eligible research institutions.

Applications from State/territory governments and their agencies will only be considered for funding under the program where they can demonstrate that their involvements is necessary to provide governance and administrative support to other partners.

Ineligible organisations

Individuals and informal groups will not be eligible to apply for grants or directly profit from a grant under the Impacts and Adaptation Grants Program. Such entities may participate as partners to an eligible organisation but cannot be classified as the lead organisation as defined in earlier in this section.

Organisations are also ineligible if they:

are insolvent, under external administration or other external control, or undergoing winding up deregistration or dissolution;

cannot provide verification of financial viability on request; or


are in breach of obligations under other Funding Agreements with the Commonwealth.

2.3.2 Eligible projects

A project eligible for funding under the Impacts and Adaptation Grants Program will be one that addresses the project requirements outlined in Section 1.4, and be associated with one of the proposed clusters (Section 1.2) or regional information delivered nationally (Section 1.4.1).

Applications must declare any other Commonwealth Government financial support directly related to the proposed project and demonstrate that it is not duplicative.

2.4 Merit Criteria

Eligible applications will be assessed against the following merit criteria by the Selection Committee and a merit ranking allocated to each application within each cluster and national category. The bullet points listed under each criterion below are provided as a guide only and are not allocated a proportion of the overall score.

2.4.1 Project effectiveness

Project effectiveness 60% + Project design and management 40%

Value for money

Project effectiveness will be determined by the extent to which the project proposal demonstrates potential to meet the objectives of the Impacts and Adaptation Grants Program:

Engagement + Approach + Quality = Project Effectiveness

Level of engagement

How effectively is the applicant able to work with regional NRM organisations as part of the project delivery?

Applicants may indicate merit by demonstrating:

the nature and success of any past interactions with regional NRM organisations, and the regional NRM planning process more generally;

climate change information and guidance previously provided by the applicant for similar planning and evidence of uptake;

evidence of successful engagement with regional NRM organisations within the relevant cluster, or nationally, in the development of the project proposal; and

an understanding of the communication and consultation needs of the communities within the cluster (including indigenous communities) and an ability to support regional NRM organisations in meeting those needs.


Effective delivery approach

How likely is the proposed method of delivery to meet the objectives of the Impacts and Adaptation Grants Program and its potential to improve regional capacity in climate change planning beyond the project duration?


how the applicant will work with regional NRM organisations to identify priority information needs that are suitable for their NRM planning needs;

how the products that will be delivered will meet the needs of planners within regional NRMorganisations, and any processes for facilitating this;

how the approach will actively support regional NRM organisations to use climate change information effectively in the process to update regional NRM plans update process (Stream1 of the NRM Fund) throughout the life of the project; and

an understanding of the regional NRM planning process and the tools used by regional NRMorganisations in consultative NRM planning.

Information quality

How likely is the project to deliver high quality research and advice?


past experience in delivering research on the climate change impacts and adaptation responses relevant to NRM in the cluster area, or nationally;

a robust approach to assessing and communicating the quality of research considered in the synthesis of existing research, and the consideration of the range of plausible climate futures in the delivery of advice and recommendations;

past experience with developing decision-making frameworks and applications used in the analysis of climate change impacts, responses and trade-offs with other NRM priorities;

an understanding of existing research and guidance available (including policy) and a process to engage providers of that information in the project development, including state and territory governments; and

a robust process for expert review of the advice and recommendations generated as part of the project.

Copies of resumes of key staff members involved in the delivery and management of the project should be provided as part of the application (see Section 4.1.1).

2.4.2 Project design and management


Value for money

Project design and management will be determined by the extent to which the applicant can demonstrate they will deliver the proposed project on time and to budget:


Ability + Competency + Monitoring = Project design and management

Ability to deliver

Can the applicant efficiently and effectively deliver the proposal?


a past record of successfully delivering similar projects;

strong staff capacity (both existing and proposed) and governance structures;

effective identification of risks and proposed actions to minimise those risks;

access to appropriate expertise, including through partnerships (this includes access to a expertise in regional climate change impact research, communication of complex scientific information, and adaptation planning processes); and

the quality of the grant application presented, including information such as project budget and a timeline including key milestones.

Managerial and financial competency

Can the applicant effectively manage a grant of this nature?


that financial management systems and policies are in place to manage grant monies;

the capacity of the management staff within the lead organisation to administer grants of this nature, including relevant experience; and

where relevant, letters of commitment showing the level of contribution from co- contributors/consortium members, and relevant experience in consortia management.

Monitoring, and evaluation reporting

What outcomes will be achieved and how will they be measured?


effective approaches to monitoring and evaluation over the life of the project;

how learnings from previous projects will be applied to the approach and implementation of this project; and

how the applicant will report against the project outputs and outcomes.

2.5 Value for money assessment


Value for money


Value for money, a key principle underpinning Commonwealth Government grant administration, requires a comparative analysis of all relevant costs and benefits of each proposal throughout the whole project cycle (whole-of-life costing). Applicants may indicate value for money by demonstrating:

the appropriateness of the proposed budget to support project activities and ensure project viability;

the level and type of any co-funding and in-kind contributions;

how the approach will add value to, and build on, existing research and guidance available to regional NRM organisations;

a clear budget breakdown and explanation of how each project component will help achieve the objectives of the Impacts and Adaptation Grants Program; and

how the approach will help build the capacity of regional NRM organisations to access, analyse and incorporate climate change information into planning beyond the life of the Impacts and Adaptation Grants Program.


3 FUNDING ARRANGEMENTS AND GRANTS INFORMATION

3.1 Funding Agreement

Successful applicants will be required to enter into a Funding Agreement with the Commonwealth Government before they receive funding under the Impacts and Adaptation Grants Program. In the case of consortia, the lead organisation will be required to enter into a Funding Agreement with the Commonwealth Government.

The Funding Agreement will set out:

the rights and obligations of the Commonwealth and the grantee;

the agreed work plan, timetable for completion, and the budget for the project;

staged payments that will be made following the successful completion of milestones;

how funds are to be acquitted;

reporting and accountability obligations;

requirements for recognising Government support through project events and on advertising material and other documentation;

implications of failing to meet obligations, including repayment and termination;

intellectual property rights; and

insurance and indemnity requirements.

Two draft Funding Agreements are available on the Department’s website (w w w.clim a t e ch ang e. g ov . a u / N R M f und str e a m 2 ). Applicants should indicate acceptance or otherwise of the draft Funding Agreement appropriate to the project governance arrangements. To ensure applicants are aware of the legal requirements contained in the relevant Funding Agreement, applicants will be required to provide a statement of compliance with the draft Funding Agreement when submitting their application (see Section 4.1.1).

Successful applicants will receive a written offer of funding and a draft Funding Agreement that reflects the project and includes any changes to the project as discussed in Section 2.2. Successful applicants will have thirty (30) calendar days from the date the offer is made to execute the Funding Agreement with the Commonwealth Government or show cause for the delay in execution. Failure to execute the Funding Agreement within this time may result in the funding offer being withdrawn.

The Department reserves the right to terminate the Funding Agreement or adjust the scope of the project at its discretion. In the event of changes being proposed to the project by the grant recipient, the Department will be open to re-negotiate the Funding Agreement as long as the proposedchanges are only minor variations, or improvements, to the objectives of the proposed project, and can be conducted in a timely manner.

Successful applicants are strongly advised to seek independent legal advice before entering into aFunding Agreement.

3.1.1 Budget and eligible expenditure

Applicants must submit a detailed budget that sets out the total expenditure for the activities that comprise the project.


The budget must detail the amount of grant funds sought in respect of each eligible activity within the project, and any cash or in-kind contributions proposed to be made by the applicant. The quality of the budget and the level of in-kind contribution will be relevant to the relative merit assessment of the application.

Project funds may only be expended on budgeted eligible expenditure. Eligible expenditure for the purposes of the Impacts and Adaptation Grants Program is the costs that will be incurred directly by the recipient in respect of the project, including:

project development costs (not including application development costs);

costs of producing communications and promotional material;

travel expenses (including to initial planning and annual program workshops); and

project administrative costs.

Eligible expenditure does not include capital expenditure (for example computer, video, photographic or printing equipment), or proposed activities outside of Australia.

Ineligible expenditure items will be removed from any proposed budget. This may result in a reduction in the total grant awarded if the application is successful.

3.1.2 Application costs

The Government is not liable for any costs incurred by an applicant in connection with the making of an application for the Impacts and Adaptation Grants Program.

3.2 Roles and responsibilities

3.2.1 Insurance and indemnity requirements

Successful applicants must have public liability and professional indemnity insurance for the level and duration specified in the Funding Agreement. Indicative values of public liability insurance and professional indemnity are $10 million and $10 million respectively. The Department may negotiate different insurance and indemnity requirements in light of the nature of the project activities.

3.2.2 Reporting and Evaluation

As part of their application, applicants must show that they have considered the measurement of project outputs and outcomes. A reporting and evaluation plan will be agreed between the successful applicant and the Department as a schedule to the project Funding Agreement.

3.2.3 Payments

Payments will be made against milestones set out in the Funding Agreement based on eligible expenditure incurred, with each payment subject to satisfactory completion of milestones and the provision of appropriate evidence as set out in the Funding Agreement.

An initial payment (not exceeding 20% of the maximum grant amount, excluding GST) may be made following the execution of the Funding Agreement (depending on the particular circumstances of the project and proponent).

Successful applicants must ensure that the funding will be held in an account that the lead organisation solely controls. This account must be with a financial institution authorised under the Banking Act 1959 into which the funding will be deposited. The account should be established solely


for the purpose of the activity, and be separate from the lead organisation’s other operational accounts.

A successful applicant must not commence work on the project before a Funding Agreement is executed with the Commonwealth. Payments will not be backdated for activities that commenced before the execution of the agreement, and no payments will be made unless a Funding Agreement has been executed.

3.2.4 Audit reports

Grant recipients will be required to provide reports of project expenditure at the end of each financial year and at the completion of the project prepared by an approved auditor. The requirements of the report and the minimum professional qualifications for the auditor, are set out in the relevant draft Funding Agreement.

3.2.5 Taxation implications

Applicants are strongly advised to seek professional advice on the taxation impacts on their business or organisation from funding from this program, including whether the grant will:

be considered income for the purpose of paying income tax;

have additional GST implications; and

have any other taxation implications.

Advice is available from the Australian Taxation Office on 13 28 66 or at www.ato.gov.au.

3.2.6 Intellectual property

As outlined in the draft Funding Agreement, the Department will seek a non-exclusive license and a permanent right to sub-license project outputs. This is to enable the reproduction or publishing of material where appropriate for distribution in other sectors or locations which may benefit from materials developed with public funds, and consistent with the project objective of improving access to climate change information.

At the time of making an application, applicants will need to describe how intellectual property rights related to the project will be apportioned and managed among members of any partnership.

3.2.7 Risk management

At the time of making an application, all applicants will be required to demonstrate that they have considered the risks inherent in the proposed project. Successful applicants will be required to develop and implement a risk plan as part of their obligations under the Funding Agreement.

3.2.8 Branding and communication

The grant recipient will be required to acknowledge the source of the funding for the project and follow the Department’s requirements relating to government branding in all communications relating to the project. Guidelines will be provided to all grant recipients regarding branding and communication.

3.2.9 Document retention

It will be a condition of being paid a grant under the Impacts and Adaptation Grants Program that successful applicants retain all documents and records in relation to the application and the Funding Agreement for a period of seven years after the termination or expiry of the agreement. While such


records do not need to be submitted with reports, the Department may require such records to verify any or all eligible expenditure. Failure to provide such records when required may result in an expenditure item being disallowed or, in certain circumstances, the repayment of grant funding.

3.3 Publication of grant information

Applicants should be aware that if they are successful, the Department is required to publish information on its website, including but not limited to the:

name of the entity receiving the grant;

amount of funding received;

term of the funding; and

location of the funded project.

By submitting an application for funding under this Impacts and Adaptation Grants Program, the applicant consents to publication of the above information by the Department if they are awarded a grant.

3.4 Confidentiality and disclosure of information

The Department is committed to the secure protection of confidential commercial and personal information in its possession. The use and disclosure of information relating to applicants (including information provided as part of any application or derived as a result of verification) is regulated by the Public Service Act 1999, the Public Service Regulations, the Privacy Act 1988, the Crimes Act1914, the Criminal Code and the general law.

The Department may use and disclose information relating to applicants in the administration of these guidelines and otherwise for the purposes of the Impacts and Adaptation Grants Program, and for related uses such as other elements of Stream 2 (Section 1.5). This may include disclosure of information to other Australian Government agencies, State or Territory government agencies and other persons providing advice to the Department for the purposes of the Impacts and Adaptation Grants Program.

Without limiting the foregoing, the Department may also use and disclose information relating to applicants and recipients under the Impacts and Adaptation Grants Program in any other Australian Government business or function, including providing information to the Australian Taxation Office for compliance purposes.

3.5 Rights and responsibilities

Funding under the Impacts and Adaptation Grants Program does not imply or determine that the Department endorses the views of the participants involved in funded activity. Grant recipients are required to comply with all applicable domestic and international laws, and their activity should not bring the Department into disrepute.

3.6 No contract

Nothing in these Impacts and Adaptation Grants Program Guidelines, or the submission of any application in response to it, or any conduct or statement whether before or after the issue of these grant guidelines constitutes a contract, express or implied, with the Department. The Department


intends that no binding agreement will be formed unless and until the Department signs a formalFunding Agreement with a successful applicant.

4 HOW TO LODGE AN APPLICATION

4.1 How to apply

In developing an application for a grant, the applicant should take into consideration the guidance and information provided in these grant guidelines and the relevant draft Funding Agreement (available on the Department’s website). Applicants intending to request funding for more than one project should ensure that a separate application is made for each project.

4.1.1 Application structure

Application form, declaration and required attachments

Applications should include:

1) A completed Application Form submitted as a PDF file with no substantial layout changes.

Application forms can be downloaded from w w w .cl i m atech ang e. go v .a u / N R M f u n d stre a m 2 .

2) A declaration signed by an appropriately authorised representative of the applicant organisation.

The Declaration page (Attachment A of the Application Form) will need to be printed, signed by the appropriately authorised representative, scanned and submitted electronically.

3) Required attachments as outlined in the application form.

Required attachments include copies of resumes for key staff members involved in the delivery and management of the project, and for consortia, written evidence that demonstrates a partners’ commitment to the proposed project.

Supporting material

Application may also include relevant supporting material to assist in the assessment of their proposal. Supporting information must be:

submitted with the application

limited to 10 A4 pages (not including required attachments)

clearly marked with the applicant’s full name and address details

discussed with the Department to determine suitability prior to submitting an application.

Application file format

Applications will be submitted by email. Application forms must be submitted as a PDF file with no substantial layout changes. All attachments must be provided as PDF or Microsoft Office (Word and Excel) files, unless otherwise arranged with the Department.

To be received through the Department’s email system files must be no more than 8 MB in size.


4.1.2 Application Preparation

Applicants are encouraged to consult with the Department while preparing applications to ensure their proposals meet the requirements in these guidelines (contact the Department by email D CCEEg r a n t s@c l i m at e ch ang e. g ov .au or by phone (02) 6159 7033). Department officials will not be able to provide feedback on draft applications. Answers to key questions asked during the application period will be provided on the Department’s website for the benefit of all potential applicants.

All applications must:

be complete and contain all the information that is relevant to, and necessary, for assessment; and

provide current and accurate information.

Applications must not contain information that is false or misleading (applications considered to contain false or misleading information may be excluded from further assessment. Providing false or misleading information may also constitute an offence under the Commonwealth Crimes Act 1914).

4.2 Lodgement process

4.2.1 Closing Date

Applications close at 5:00pm (Eastern Standard Time) on 27 September 2012 (the closing date).

Applications must be emailed to D C C EEgr an ts@cl i m a t e ch ang e. go v .au and identified as“<Applicant name>: Impacts and Adaptation Grants Program APPLICATION” in the subject field.

4.2.2 Late applications

Late applications may be accepted for assessment in cases where the delay is due to exceptional circumstances. The decision to accept late applications will be at the discretion of the Department.

4.2.3 Incomplete applications

Applications that are incomplete in terms of meeting the requirements of the application form or these grant guidelines, and are not able to be completed to the satisfaction of the Program Manager, will be rejected as ineligible.

4.2.4 Changes to applications and requests for further information

The Department may contact applicants to discuss changes or refinements to an application, or to seek further information relating to an application, at any time following the making of the application. If information that is sought by the Department is not provided, the application may not proceed to the next stage in the application process.

4.3 Queries

For further information on the program or application process, contact the Department by emailD CCEEgrants@clim atechange.gov .au or by phone (02) 6159 7196.

All emails requesting further information should clearly marked:“<Applicant Name>: Impacts and Adaptation Grants Program ENQUIRY”.


4.4 Complaints

The Department’s Service Charter can be found at:

w w w.cl i m a t e ch ang e. g ov . a u / pub l i cati o n s / a b o u t / s e rv i c e -ch a rter - 2 01 0 - 1 1 .as p x

If an applicant is dissatisfied with the way in which an application is handled by the Department they should raise their concerns by email D CC E Eg r a n ts@cl i m a t echa ng e. go v .au or by phone (02) 61597033, and the Department will endeavour to resolve the complaint.

If an applicant is dissatisfied with the way in which their complaint has been handled by the Department, they may wish to complain to the Commonwealth Ombudsman. The Ombudsman will usually decline to investigate a complaint unless the matter has first been raised directly with the Department.

The Commonwealth Ombudsman can be contacted on:

Phone (Toll free): 1300 362 072

Email: o m bud s m a n @ o m b u d s m a n . go v .au

Website: w w w. o m bud s m a n . g ov .au

4.5 Glossary of terms

Annual workshop A workshop with all successful project teams, the Department andorganisations involved in other elements of Stream 2 to be held towards each financial year of the program lifetime (2012-13 to 2015-16).

Applicant A research institution submitting a project proposal for a grant. May beacting on behalf of a partnership.

Applicant contribution Cash (or in-kind) contributions made towards the project by theapplicant, whether from their own resources or from a party other than the Commonwealth.

Consortium A group of organisations working together in a joint venture for thepurpose of submitting an application and completing the proposed project.

Department The Department of Climate Change and Energy Efficiency (theDepartment) or such other agency of the Commonwealth as may fromtime be responsible for the administration of the Program, and includes any other Commonwealth agency that the Department engages to assist in the delivery of the Program.

Eligible expenditure Eligible expenditure will be the cost of any agreed project activitiesperformed by the grant recipient, by another organisation or an individual engaged under a separate contract. Eligible expenditure for this program is outlined in Section 3.1.1 of these grant guidelines.

Funding Agreement The agreement under which the funds are provided by theCommonwealth to the grant recipient for the purpose of the program.


Funding envelope Refers to the upper and lower limits of project funding. Project funding of$500,000 to $1 million (GST exclusive) is available for eligible project costs. Further information is available in Section 1.6 of the Impacts and Adaptation Grants Program Guidelines.

Grant recipient The organisation(s) selected by the Commonwealth to conduct a project under the Impacts and Adaptation Grants Program.

Impacts andAdaptation GrantsProgram

The Australian Government’s NRM Climate Change Adaptation andImpacts Research Grants Program. The program is administered by the Department of Climate Change and Energy Efficiency under the Land Sector Package as part of the Australian Government’s climate change plan – Securing a Clean Energy Future.

Impacts andAdaptation GrantsProgram Guidelines

The NRM Climate Change Adaptation and Impacts Research GrantsProgram Guidelines 2012 issued in August 2012.

Initial planningworkshop

A planning workshop with all grant recipients, the Department andorganisations involved in other elements of Stream 2 to be held following project commencement (see Section 2.2 of the Impacts and Adaptation Grants Program Guidelines).

In-kind contributions Non-cash considerations to a project that have no impact on entity cashflow and no record in the entity’s statement of financial performance. Examples may include the use of resources – whether internally or externally sourced – for no cost to the project or applicant; or issuing shares in payment for services rendered.

Land Sector Carbonand Biodiversity Board(LSCBB)

An independent, permanent advisory board established under theClimate Change Authority Act 2011 (Cwth) to provide advice on implementation, performance indicators and research priorities of the Land Sector Package measures.

Land Sector Packagemeasures

One of the four elements of the Australian Government’s plan for a CleanEnergy Future. These are a carbon price, renewable energy, energy efficiency and action on the land (the Land Sector Package).

Lead organisation An organisation which acts as the applicant for a grant under the Impactsand Adaptation Grants Program and enters into a Funding Agreement with the Commonwealth for a successful project. The lead organisation will be the recipient of the grant funding and will be the primary contact for the project.

Minister The Minister who is responsible for the Department and will beresponsible for the final decisions regarding which applications will receive financial assistance under the program. The Minister will take into consideration the advice provided by the Selection Committee.

NRM cluster Also called ‘cluster’. For delivery of the Impacts and Adaptation GrantsProgram, under Stream 2 of the NRM Fund, the 56 NRM regions havebeen grouped into eight ‘clusters’. A map of the clusters is included in Section 1.3, and further information on cluster membership and rationale is available in Attachment 1 to these grant guidelines.


NRM Fund The $43.9 million Regional Natural Resource Management (NRM)Planning for Climate Change Fund announced as part of the AustralianGovernment’s Clean Energy Future Package.

The NRM Fund will support regional NRM organisations to updateexisting regional NRM plans to incorporate climate change mitigation andadaptation.

The NRM Fund has two streams.

The Department of Sustainability, Environment, Water, Population and Communities will administer Stream 1 ($28.9 million over 5 years) of the Fund to assist regions to plan for climate change impacts in their regions.

The Department of Climate Change and Energy Efficiency will administer Stream 2 ($15 million over 5 years) of the Fund for the coordination of research to produce regional-level climate change information in the form of scenarios to support medium term natural resource and land use planning.

NRM organisation The Australian Government, in association with state and territorygovernments, recognises 56 natural resource management (NRM) regions across Australia based on catchments or bioregions. Each region has an identified regional NRM organisation that undertakes to plan, coordinate and support NRM at the regional level.

NRM plan A regional natural resource management (NRM) plan, prepared by eachof the 56 regional NRM organisations, documents the NRM aspirations, assets, priorities and the unique challenges faced by the NRM region. Plans generally engage and support regional and rural communities, facilitate partnerships within and between regions, identify the region's NRM priorities and tackle the challenges that threaten the sustainability of the region.

Stream 1 of the Regional NRM Planning for Climate Change Fund will provide funding and guidance to regional NRM organisations to help incorporate climate change mitigation and adaptation into existing regional NRM plans.

NRM region The Australian Government, in association with state and territorygovernments, recognises 56 natural resource management (NRM)regions across Australia based on catchments or bioregions.

Program Manager The Program Manager (or delegate) will be responsible for determiningthe eligibility of applicants, notifying successful/unsuccessful applicants, and approving the Selection Committee’s recommendations to the Minister.

The First Assistant Secretary of the Adaptation, Science and Communication Division of the Department will be the Program Manager.

Project Also called ‘Impacts and Adaptation Research project’. A project underthe NRM Climate Change Adaptation and Impacts Research GrantsProgram to be conducted by a grant recipient.


Selection Committee The Selection Committee will be responsible for assessing eligible projectproposals against merit criteria. The Selection Committee will advise the Program Manager on projects that are suitable for funding under the program.

Subcontractor An organisation or individual which contracts to provide goods or services to a project proponent for the purpose of performing itsobligations under the Funding Agreement.


ATTACHMENT 1 - CLUSTER DESCRIPTIONS

Background on the clusters

For delivery of Stream 2 of the NRM Fund, the 56 NRM regions have been placed into eight ‘clusters’ of NRM regions. The aim of the clusters is to provide a structure to deliver regionally relevant information, while benefitting from efficiencies in the joint delivery of relevant science information and opportunities for peer learning.

The grouping of NRM regions into eight clusters took into account the nature of the projected change in climate, the range of adaptation options set by biogeography, and the predominant land use. The cluster breakdown was developed in consultation with regional NRM organisations and climate change researchers.

The eight clusters and the NRM regions and sub-regions included in each are described in Table 1. Each cluster has between 4 and 12 regional NRM organisations.

Community-based planning activities will continue in the individual NRM regions. Planning activities will be supported by knowledge developed through the clusters. A number of the clusters cross State/Territory boundaries, and therefore different jurisdictional arrangements may apply across some clusters. The cluster design increases opportunities for cross-learning and collaboration in similar geographical zones.

Table 1. NRM cluster membership and description

Cluster name NRM Regions No.1 – Monsoonal North Northern Gulf (Qld)

Southern Gulf (Qld) Burdekin (Qld)Northern Territory – Top End and Gulf Savanna sub- regionsRangelands (WA) – West Kimberley sub-region

3 full regions, 2part regions

2 – Wet Tropics Cape York (Qld)Torres Strait (NT) Wet tropics (Qld)Mackay Whitsunday (Qld)

4

3 - Rangelands Desert Channels (Qld)Northern Territory – Arid Lands and Table Lands sub- regionsSA Arid Lands (SA) Alinytjara Wilurara (SA)Rangelands (WA) – Pilbara, Gascoyne/Murchison and Goldfields/Nullarbor sub-regions Western (NSW)South West Queensland (Qld)

5 full regions, 2part regions

4 – Central slopes Condamine (Qld)Border Rivers and Maranoa-Balonne (Qld) Border Rivers-Gwydir (NSW)Namoi (NSW) Central West (NSW)

5


Cluster name NRM Regions No.5 – Murray Basin Lachlan (NSW)

Murrumbidgee (NSW)Australian Capital Territory (ACT) Murray (NSW)Lower Murray Darling (NSW) North East (Vic)Goulburn-Broken (Vic) North Central (Vic) Mallee (Vic)SA Murray Darling Basin (SA) Wimmera (Vic)South East (SA)

12

6 – East Coast Fitzroy (Qld)Burnett Mary (Qld)South East Queensland (Qld) Northern Rivers (NSW)Hunter – Central Rivers (NSW) Hawkesbury-Nepean (NSW) Sydney Metro (NSW)

7

7–Southern Slopes Southern Rivers (NSW)East Gippsland (Vic) West Gippsland (Vic)Port Phillip and Westernport (Vic) Corangamite (Vic)Glenelg Hopkins (Vic) Tasmania North (Tas) Tasmania North West (Tas) Tasmania South (Tas)

9

8– Southern and South-Western Flatlands

Kangaroo Island (SA)Adelaide and Mt Lofty Ranges (SA) Northern and Yorke (SA)Eyre Peninsula (SA) South Coast (WA) South West (WA) Wheatbelt (WA) Perth (WA)Northern Agricultural (WA)

9

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